STERLING NORTH LTD

• Principal Place of Business

  Sterling North

  6 Chequers Parade

  Wycombe Road

  Prestwood

  Great Missenden

  Buckinghamshire

  HP16 0PN

  UNITED KINGDOM

  Phone

  +4401494614636

  Web

  https://sterlingnorth.co.uk/financial-advisors/

• Complaints Contact

  Sterling North

  6 Chequers Parade

  Wycombe Road

  Prestwood

  Great Missenden

  Buckinghamshire

  HP16 0PN

  UNITED KINGDOM

  Phone

  +4401494614636

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding the administration of debt management plans. In this limitation debt management plans are defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders".

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Carl Millington

  IRN CXM02644

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (15 Aug 2016 to 8 Dec 2019)
• Louise Natalie Birchall

  IRN LXB01668

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Apr 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Apr 2025)
  • CF30 Customer (22 Aug 2013 to 8 Dec 2019)
• Nicola Millington

  IRN NXM01355

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF11 Money Laundering Reporting (11 Jul 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (11 Jul 2013 to 30 Sep 2018)
  • CF1 Director (11 Jul 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Jul 2013 to 8 Dec 2019)
  • CF30 Customer (11 Jul 2013 to 8 Dec 2019)
• Suesan Mir-Shekari

  IRN SXM00300

  • Appointed representative dealing with clients for which they require qualification (15 Aug 2022 to 6 Aug 2024)
• William Bedford

  IRN WXB01210

  • CF30 Customer (4 Jan 2017 to 8 Dec 2019)

No changes recorded yet.